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Working Experience & qualification:
· Related Compliance post-secondary education
· At least 5 years’ experience within in the Compliance Team of a financial services firm
· Strong interpersonal skills, with the ability to work in a collaborative environment
· Able & willing to work with our Business Development Managers and their clients, helping the client to meet our Compliance standards
· Experience conducting transaction monitoring
· Experience investigating sanctions hits
· Passionate about the benefits of a positive compliance culture.
· Ability to work to deadlines and under pressure.
· Act as the main point of contact for all Compliance-related issues within North America
· Review or prepare KYC documentation and conduct additional research as required in consultation with regional Compliance officer.
· Review and investigate transaction monitoring flags
· Identify, investigate, evaluate and escalate suspicious transactions or trends.
· Review and investigate Sanctions List matches
· Identify and record “false positive results,” escalating “true match” results and prepare regulatory filings as required
· Conduct periodic compliance testing of historical transactions, identifying, high risk transactions, or customers, need to file retroactive regulatory filings and potentially modifying risk profile of customer.
· As needed, review payment files for accuracy and completeness.
· Assist with the identification, evaluation, monitoring and mitigation of operational risks; proactively suggesting improvements.
· Liaise with senior management in Operations and Compliance to design and implement effective risk controls and processes.
· Liaise with Company’s Business development to investigate suspicious transactions / trends relating to particular customers.
· Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge in banking and payment operations.